Effective Team Building with State DOT and Sub-Recipient Partners: Cities, Counties and Local Agencies

Powerpoint Presentation: 10alexander.ppt (84 Kb)

[Slide 1]

Themes:
"What makes a good partnership work?"
"There is no 'I' in TEAM"
"Working Smarter!"
Maurice Alexander -Civil Rights Specialist, King County WA

[Slide 2]

What makes a good partnership work?

Understanding the roles of the partners — Jurisdictional differences!

(1.) State/Federal folks provide assistance in interpreting the following:

1. Federal/State laws " regulations
   Executive Orders
   Guidance/Training

[Slide 3]

State DOT

• Administer federal funds

  1. — Oversee cities/counties
     — Local Agency Guidelines
     — DBE Program Plans/Updates
     — Supportive Services; OJT/DBE — Program Monitoring and Evaluation — Title VI Plans/Updates etc.

[Slide 4]

Local Agencies who want federal money

1. — Must comply with and implement Federal/State regulations
   — May have similar initiatives in their local jurisdictions
   — Other circumstances i.e. I — 200 (Washington & California)
   — Federal projects in close proximity to state or local projects of the same type without requirements (i.e. OJT or DBE)
   — Small Business Programs viewed as a substitute

[Slide 5]

B.  Understanding what is required under the regulations

1. (1.) Cities/counties vary in size, capability and their need for federal money for projects.

   1. — Some have dedicated staff for civil rights functions, some don't
      — Make the federal/State requirements an integral part of the work
      — Request assistance from the State/feds when in doubt!

[Slide 6]

1. (2.) Get support from the top of your organization! Don't jeopardize your federal funding!

   1. — Be aware of reporting requirements
      — Maintain data needed to report accomplishments, challenges and process improvements
      — Understand the implications of Title VI Assurances, Local Agency Guidelines, the NEPA Process (EJ/LEP), and DBE Plans etc.

[Slide 7]

1. (3.)  Documentation!

   1. — Have a central depository for documentation i.e. Project Manager's file
      
      — Keep routine correspondence, Title VI issues i.e. EJ/LEP
      — Be aware of reporting requirements

1. (4.)  Get training!

[Slide 8]

Collaboration

Look at other examples locally that mirror your needs

1. — Sometimes cities/counties adopt measures employed by the State (i.e. DBE Program Plans)
   
   — Look for alternatives (i.e. Abbreviated Title VI plan for cities/counties under a certain population size threshold)
   
   — Always attempt to meet the requirements of the regulations!
   
   — If you are issued a VCAP, it is viewed as the first step in getting back into compliance.
   
   

[Slide 9]

Don't hesitate to ask your State DOT for help!

(1.) Sometimes retirements, promotions and other incidentals change the local organization's capabilities in the civil rights area.

(2.) Communication with the State DOT is critical in evolving situations (i.e. South Park, Viaduct). Check in regularly!

(3.) Give the State/Feds the best opportunity to assist you (i.e. EJ/LEP ask for guidance when you are unsure.

[Slide 10]

Training

(1.) Seek specific training that addresses your method of spending federal money

1. — Roads (Planning, Design, Const. etc.)
   — State/FHWA Training (NHI)
   — EJ/LEP issues

(2.) Make civil rights issues an integral part of the job.

1. — Special Emphasis Area folk should be knowledgeable of civil rights issues
   — Pay attention to reporting requirements (Title VI, DBE Program, Updates)

There is no 'I' in TEAM

[Slides 11 — 16]

1. A cooperative interdisciplinary approach makes all of the difference!

   1. (1.) Remember, State/Federal regulators have a job to do!

      1. — Our methods may vary sometimes
      2. — Ask for clarification or guidance
      3. — Give staff the tools to do the job (i.e. training)

   2. (2.) There are many folks involved in implementing federal assistance programs.

      1. — For example, Title VI (EJ/LEP) issues affect a project throughout the life of the project).
      2. —All Special Emphasis Areas involved

   3. (3.) State DOT and Federal folks want to help you do your job better.

      1. — Makes their job easier; yours too!
      2. — They don't sanction cities/counties without providing help first.
      3. — These folks can help interpret the regulations and guidance documents
   
   
   
2. Do a good job internally to enlist support from all stakeholders.

   1. (1.) Get a commitment from top management

      1. — If top management is committed, the organization gets the message
      2. — Gives folks ownership to the program successes
      
      
      

   2. (2.) Make sure folks affected by program decisions have input to the process (i.e. Title VI Update Reports, DBE Accomplishment Reports)

      1. — Folks like to understand how the implementation of State/Federal regulations and how it affects them.
      2. — Involving these people helps with reporting.
      
      
      

   3. (3.) Identify a point person who would be responsible for interactions with the State/feds; especially where there are few projects.

      1. — This is especially true for smaller cities/counties with few federal/state projects
      2. — Use Inter—local Agreements where appropriate (i.e. some may not have DBE Plans and operate under the State DOT's or a larger city's plan)
      
      
      

   4. (4.) Be proactive, not reactive!

[Slide 17]

Adopt and apply a preventative team approach to ensuring non-discrimination in all programs or activities.

Remember the Restoration Act of1987 requirements (Title VI); All programs that provide benefits or services

1. — Do it for all benefits/services whether federally funded or not
2. — This is an opportunity for other areas!
3. — Liability if you don't!

[Slide 18]

When a member of the team, bring your "A" game!

1. — We, as practitioners need to bring our best solutions to the table
   — Don't be afraid to try something new, as long as it meets the requirements of the regulation! (re: Certification in/out of org.)
   — Remember, none of the activities associated with civil rights are games.

[Slides 19 — 25]

1. King County departments are being asked to do more with less.

   1. (1.) Incorporations of King County spaces into new cities have resulted in less revenue.

      1. — This often creates a need (civil rights) for the newly incorporated city and a budget shortfall (lost revenue for programs) for King County
         — May create a need for innovation; Inter-local Agreements
         — May need to revise DBE, Title VI Plans

   2. (2.) Budgets for departments like OCR are impacted

      1. — May require delegation of responsibilities (i.e. decentralize DBE functions down to Project Management level; monitoring CUF, EEO)
         — Data tracking is always an issue

      
      
      
   3. (3.) Highlight the need to make State/Fed requirements an integral part of the job.
      1. — This way Civil Rights issues are not an add-on to their work
         — Some organizations make this a part of the employment evaluations
2. Learn to appreciate the successes of failure!

   1. (1.) Learn from failures!

      1. — Don't fear failure, especially in areas new to your municipality (i.e. EJ/LEP)
         — Do try again with knowledge gained from the failure.
         — Ask for help; training

   2. (2.) If you are issued a CAP in a given area, it represents the first step in getting back into compliance. (Note: CA VCAP in Title VI)

      1. — St/feds usually provide time to correct the problem
         — Cooperate; it is for your own good!
         — This can affect future grants

3. Innovate!

   1. (1.) Become a team member who is known as a "change agent".

      1. — Challenge yourself to contemplate new solutions (i.e. DBE's in procurement) that fit the regulations
         — Discuss proposals for change with management and your DOT stakeholder (i.e. No research SEA for King County)

   2. (2.) Cities and Counties should routinely evaluate themselves to ensure proper implementation of civil rights programs.

      1. — There is a need for cities/counties to evaluate themselves as it relates to Title VI requirements for accountability and process improvement.
         — Also need to measure accomplishment and learn from failures and challenges.
         — Program should evolve as the result of this examination.

      
      
      

   3. (3.) Ask for guidance in evolving areas

      1. — New EJ/LEP requirements; data, demographics, low-income populations
      2. — DBE regs; Good Faith Efforts documentation, goals

         1. — Certification
            — Regular Dealers
            — CUF etc.

4. Complaints

   1. (1.) Collect and maintain data about complaints received

      1. — Keep this in a central file; project manager's file
         — Resolve complaints at their lowest administrative level where possible
         — Resolve complaints within 180 days

   2. (2.) Have a clearly defined complaint procedure; required by regulation

      1. — Fed/non-federally funded departments use the same complaint process
         — Compliance based; fix it!
         — Appeal can be to State or Feds
      
      
      

   3. (3.) Pay attention to complaints involving EJ/LEP issues

      1. — These occur early in the project planning phase and can be missed
         — Document early public involvement activities
         — Maintain data that demonstrates "what you did".